1. Chapter 9 Performance Management and Appraisal
HUMAN RESOURCE MANAGEMENT
Global Edition 14e
Human Resources Management 12e Gary Dessler
Chapter 9
Performance Management and Appraisal
Copyright © 2015 Pearson Education
GARY DESSLER
Copyright © 2011 Pearson Education
1–1

2. Human Resources Management 12e Gary Dessler
LEARNING OUTCOMES
Define performance management and discuss how it differs from performance appraisal.
Set effective performance appraisal standards.
Describe the appraisal process.
Develop, evaluate, and administer at least four performance appraisal tools.
Explain and illustrate the problems to avoid in appraising performance.
Discuss the pros and cons of using different raters to appraise a person’s performance.
Perform an effective appraisal interview.
Copyright © 2011 Pearson Education

3. Comparing Performance Appraisal and Performance Management
Evaluating an employee’s current and/or past performance relative to his or her performance standards which involves:
Setting work standards
Employees’ actual performance vs standards set
Feedback to employees to motivate them to eliminate deficiencies and perform above par
Performance management
process through which companies ensure that employees are working toward organizational goals

4. Basic Concepts in Performance Management and Appraisal
Human Resources Management 12e Gary Dessler
Basic Concepts in Performance Management and Appraisal
Performance Appraisal
Setting work standards, assessing performance, and providing feedback to employees to motivate, correct, and continue their performance.
Performance Management
An integrated approach to ensuring that an employee’s performance supports and contributes to the organization’s strategic aims.
Every manager needs some way to appraise employees’ performance. If employees’ performance is good, you’ll want to reinforce it, and if it’s bad, you’ll want to take corrective action.
Performance appraisal means evaluating an employee’s current and/or past performance relative to his or her performance standards.
Copyright © 2011 Pearson Education

5. Defining the Employee’s Goals and Work Standards
Human Resources Management 12e Gary Dessler
Defining the Employee’s Goals and Work Standards
Set SMART goals
Assign challenging/ doable goals
Assign specific goals
Guidelines for Effective Goal Setting
Assign measurable goals
Encourage participation
Managers should appraise employees based on previously assigned criteria (goals and standards) that they are expected to achieve, such as “add 10 new customers next year.”
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6. HOW TO SET EFFECTIVE GOALS
Setting SMART Goals
Specific, and clearly state the desired results.
Measurable in answering “how much.”
Attainable, and not too tough or too easy.
Relevant to what’s to be achieved..
Timely in reflecting deadlines and milestones.

7. An Introduction to Appraising Performance
Human Resources Management 12e Gary Dessler
An Introduction to Appraising Performance
Why Appraise Performance? 1 2
Is basis for pay and promotion and salary decisions. 3
Plays an integral role in performance management. 4
Helps in correcting deficiencies and reinforcing good performance.
Appraisals have several purposes that relate both to the appraised employee and the organization.
Is useful in career planning.
Appraisals play a role in identifying training and development needs.
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8. Effectively Appraising Performance
Human Resources Management 12e Gary Dessler
Effectively Appraising Performance
Steps in Appraising Performance 1
Defining the job and performance criteria 2 3
Appraising performance
Providing feedback session
Effective appraisals should follow these three steps.
Copyright © 2011 Pearson Education

9. Steps in Appraising Performance
Defining the job
Making sure that you and your subordinate agree on his or her duties and job standards.
Appraising performance
Comparing your subordinate’s actual performance to the standards that have been set; this usually involves some type of rating form.
Providing feedback
Discussing the subordinate’s performance and progress, and making plans for any development required.

10. Who Should Do the Appraising?
Human Resources Management 12e Gary Dessler
Who Should Do the Appraising?
Self-rating
Subordinates
360-degree feedback
Potential Appraisers
Immediate supervisor
Peers
Rating committee
Traditionally, the employee’s direct supervisor appraises his or her performance. However, other options are available and used.
Copyright © 2011 Pearson Education

11. The Immediate Supervisor
– is usually in the best position to observe and evaluate the subordinate’s performance, and is responsible for that person’s performance
Peer Appraisals
– becoming more popular with firms using self-managing teams.
Rating Committees
– consist of multiple raters, typically the employee’s immediate supervisor and three or four other supervisors

12. Appraisal by Subordinates
Self-Ratings
– tend to be higher than supervisor or peer ratings
Appraisal by Subordinates
– or upward feedback, is where subordinates anonymously rate their supervisor’s performance.
360-Degree Feedback
-– where ratings are collected from the employee’s supervisors, subordinates, peers, and internal or external customers.

13. Alternative Sources of Performance Appraisal
Supervisor
Team
Peers
Self
Customers
Subordinates

14. Techniques for Appraising Performance
Human Resources Management 12e Gary Dessler
Techniques for Appraising Performance
Appraisal Methodologies 1 6 2 3
Graphic rating scale
المقاييس البيانية المتدرجة 8 7
Narrative forms النماذج الروائية 4 9
Alternation ranking
طريقة الترتيب
Behaviorally anchored rating scales (BARS) المقاييس التابتة سلوكيا 5 10
Management by objectives (MBO)
Paired comparison
المقارنة الثنائية
Computerized and Web-based performance appraisal
Appraising performance requires choosing an appraisal tool, form, or methodology that provides an effective means for comparing a subordinate’s actual performance to the standards for his or her job.
Forced distribution
التوزيع الطبيعي
Merged methods اساليب مدموجة
Critical incident
الأحداث المهمة
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15. Performance Appraisal Methods
Graphic rating scale
A scale that lists a number of traits and a range of performance for each that is used to identify the score that best describes an employee’s level of performance for each trait.

16. طريقة التدرج البياني Graphic rating scale
إسم الموظف مسمى الوظيفة التاريخ
القسم القائم بالتقويم ا
العناصر
- نوع الأداء.
-القدرة على الابتكار.
-التعاون مع الزملاء. التعاون مع الرؤساء.
-إتباع التعليمات.
-الحاجة للإشراف.
درجات التقييم
مرضي
(2)
متميز
(5)
جيد جدً
(4)
ضعيف
(1)
جيد(3)

17. Performance Appraisal Methods (cont’d)
Alternation ranking method
-Ranking employees from best to worst on a particular trait, choosing highest, then lowest, until all are ranked.
Paired comparison method
-Ranking employees by making a chart of all possible pairs of the employees for each trait and indicating which is the better employee of the pair.

18. طرق تقويم الأداء(تابع):
2- طريقة الترتيب :
يتم فيها إعداد قائمة بأسماء العاملين معه يحدد فيها أحسنهم وأسوأهم في الأداء بشكل متسلسل يبدأ بالأحسن وينتهي بالأسوأ.
بيان بأسوأ الموظفين
بيان بأحسن الموظفين 11 12 13 14 15 16 17 18 19
20الاسواء في الأداء
1 الأول في الأداء 2 3 4 5 6 7 8 9 10
مزاياها: السهولة والسرعة
عيوب :
لا توضح مناطق القوة والضعف في الموظف... لا تسمح بتطويره.
لا تحدد مقدار الفرق في الأداء.
هناك تحيز في عملية الترتيب من الرئيس.
لتفادي العيوب :
أن يقوم شخص آخر(يعرف مستوى الموظف) بعملية الترتيب الى جانب الرئيس .

19. Performance Appraisal Methods (cont’d)
Forced distribution method
Similar to grading on a curve; predetermined percentages of ratees are placed in various performance categories.
Example:
15% high performers
20% high-average performers
30% average performers
20% low-average performers
15% low performers

20. طرق تقويم الأداء(تابع):
6- طريقة التوزيع الإجباري :
يطلب من المشرف أن يقوم بتوزيع نتائج التقييم لموظفين على أسس التوزيع الطبيعي للظواهر .
منحنى التوزيع الطبيعي
غيرمرضي10%
مرضي20%
جيد40%
جيدجداً20%
متميز10%
عبيد سالم
عبد المجيد حسن
سعد محمود
مازن علي
هشام الصائغ
عباس مكي
عمر محمد
محمد إيهاب
يحيى القاضي
طارق السعدي
فهد سعيد
ياسر المالكي
عبد الله محمد
احمد حمزة
احمد محمد
منصور حامد
عمر بافقيه
عيوبها :
تحديد حدود لما يجب أن تكون عليه النتائج وهذا قد لا يتفق مع مستويات الموظفين الخاضعين للتقييم .
مميزاتها:
طريقة سهلة.

21. Basic Appraisal Methods
Critical incident method
- Keeping a record of uncommonly good or undesirable examples of an employee’s work-related behavior and reviewing it with the employee at predetermined times
Helps ensure that the supervisor thinks about the subordinate’s appraisal all during the year
Does not just reflect the employee’s most recent performance

22. طرق تقويم الأداء (تابع):
3- طريقة الوقائع الحرجة :
يقوم المشرف على الموظف بتسجيل الأحداث الجيدة والسيئة التي ظهرت من الموظف خلال فترة التقييم ، وعندالتقييم يرجع لسجل هذه الوقائع لقياس نتيجة الأداء.
مميزاتها :
عدم التحيز الشخصي .
عيوبها :
نسيان تسجيل بعض الأحداث .
الميل لإظهار الوقائع السيئـة ( ميل فطري ) .
يستدعي هذا الأسلون نوع من الرقابة على الموظف.

23. Narrative forms
-involve rating the employee’s performance for each performance factor, writing down examples and an improvement plan, aiding the employee in understanding where his/her performance was good or bad, and summarizing by focusing on problem solving.
Behaviorally anchored rating scale (BARS)
An appraisal method that uses quantified scale with specific narrative examples of good and poor performance. .

24. Performance Appraisal Methods (cont’d)
The five steps in Developing a BARS:
Generate critical incidents
Develop performance dimensions
Reallocate incidents
Scale the incidents
Develop a final instrument
Advantages of using a BARS
A more accurate gauge
Clearer standards
Feedback
Independent dimensions
Consistency

25. طريقة التدرج البياني السلوكي
تشبه طريقة التقرير البياني في إنها تتضمن عددا من الأبعاد للتقييم، ومستويات 7أو10بالنسبة لكل بعد،إلا أنها أكثر تحديدا بالنسبة لمستويات الأداء بالنسبة لكل بعد،لأنها تعبر عنها بأمثلة سلوكية، حيث يوضع أمام كل مستوى أمثلة للسلوك الفعلي في الوظيفة، مما يساعد على تخفيف أخطاء التقدير التي تحدث في طريقة التقرير البياني. ويتم تقييم الموظف عن طريق قيام الرئيس باختيار المثال السلوكي الذي يمثل أداء الموظف.

26. * المبرمج قادر على أن يستخدم بعض المهارات الفنية وينجز معظم المهام .
اسم الموظف : القسم :
اسم القائم بالتقويم: التاريخ:
التعليمات : فضلاً إقراء مجموعة السلوكيات التالية لعمل الموظف ثم ضع علامة صح
درجة القياس
*متميـــز
جيد جداً
جيد
متوسط
ضعيف 10 9 8 7 6 5 4 3 2 1
*يقوم المبرمج باستخدام كل مهاراته الفنية وينجز كل المهام بطريقة رائعة .
* يقوم المبرمج في معظم الأوقات باستخدام جزء كبير من المهارات الفنية وينجز معظم المهام بطريقة جيدة .
* المبرمج قادر على أن يستخدم بعض المهارات الفنية وينجز معظم المهام .
* يواجه المبرمج صعوبة في استخدام المهارات الفنية وينجز معظم المهام متأخراً .
* يواجه المبرمج صعوبات جمة في استخدام المهارات وينجز المهام متأخرا بسبب هذه الصعوبات

27. Management by Objectives (MBO)
Involves setting specific measurable goals with each employee and then periodically reviewing the progress made. The process consists of six steps
Set the organization’s goals.
Set departmental goals.
Discuss departmental goals.
Define expected results (set individual goals).
Performance reviews.
Provide feedback.

28. Human Resources Management 12e Gary Dessler
Using MBO
Setting unclear objective
Conflict with subordinates over
Objectives
Three problems in using MBO
Time-consuming
appraisal process
In using MBO, it is best to keep the guidelines for goal setting (SMART, specific, and so on) in mind. Setting objectives with the subordinate sometimes turns into a tug-of-war, with the supervisor pushing for higher quotas and the subordinate pushing for lower ones.
The more that is known about the job and the person’s ability, the more confident a supervisor can be about setting standards.
Copyright © 2011 Pearson Education, Inc. publishing as Prentice Hall

29. Computerized and Web-Based Performance Appraisal
Performance appraisal software programs
Keep notes on subordinates during the year.
Electronically rate employees on a series of performance traits.
Generate written text to support each part of the appraisal.
Electronic performance monitoring (EPM)
Having supervisors electronically monitor the amount of computerized data an employee is processing per day, and thereby his or her performance.

30. مشاكل استخدام الحاسب الآلي في عملية التقويم
استخدام الحاسب الآلي في عملية التقويم يسبب للموظفين الضيق والتعب ويجعلهم تحت المراقبة المستمرة مما يترتب عليه الضغوط النفسية.
لذلك يرى البعض أن هذا العمل يمكن أن يقتصر فقط على عملية تحليل النتائج ووزنها وتقديراتها النهائية , على أن يترك جمع المعلومات عن
عملية التقويم للأفراد المسئولين عن التقييم.

31. Merging the Methods
– Most firms’ tools include combining several methods. Anchoring a scale, as in Figure 9-3, improves reliability and validity of the appraisal scale.

32. طريقة المزيج التقويمي أي الاستفادة من تركيبات بعض طرق التقويم وجمعها
في مزيج تقويمي واحد، مثل الجمع بين ثلاث طرق تقويمية هي
( طريقة التدرج البياني, طريقة التدرج البياني السلوكي, طريقة الوقائع الحرجة ) وغالباً ما تستخدم هذه الطريقة في تقويم أداء المديرين).

33. *التاريخ.............. *اسم القائم بالتقويم.......................
*اسم الموظف * القسم
*التاريخ *اسم القائم بالتقويم
التعليمات: اقرأ الوظائف الإدارية التالية، ثم حدد المستوى الذي يتناسب مع الموظف في إطار كل وظيفة بما يتطابق مع مستوى أدائه للوظيفة( ضع علامة صح ) أمام الرقم المختار.
مهارات وظيفة التخطيط
يحدد مسبقا الأهداف والأولويات
يعد خططا قصيرة وطويلة واقعية
يقوم بالبرمجة الزمنية للخطط
يتوقع المشاكل مقدما ويحاول التغلب عليها
الدرجة
مستويات الداء 1 2
فاشل في تحقيق التوقعات.
يحقق الحد الأدنى من التوقعات
يحقق المطلوب من التوقعات
غالبا يحقق أكثر من المطلوب.
دائما يحقق نتائج أكثر من المطلوب

34. Advantages and Disadvantages of Appraisal Tools
Table 9–3

35. Dealing with Performance Appraisal Problems
Human Resources Management 12e Gary Dessler
Dealing with Performance Appraisal Problems
Unclear
Standards
Leniency or strictness
Halo effect
Potential Rating Scale Appraisal Problems
Central
Tendency
Bias
Graphic-type rating scales in particular are susceptible to several problems: unclear standards, halo effect, central tendency, leniency or strictness, and bias.
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36. Potential Rating Scale Appraisal Problems
Unclear standards
An appraisal that is too open to interpretation.
Halo effect
Occurs when a supervisor’s rating of a subordinate on one trait biases the rating of that person on other traits.
Central tendency
A tendency to rate all employees the same way, such as rating them all average.

37. Potential Rating Scale Appraisal Problems (cont’d)
Strictness/leniency
The problem that occurs when a supervisor has a tendency to rate all subordinates either high or low.
Bias
The tendency to allow individual differences such as age, race, and sex to affect the appraisal ratings employees receive.

38. Guidelines for Effective Appraisals
Human Resources Management 12e Gary Dessler
Guidelines for Effective Appraisals
Know the
Problems
Get agreement on a plan
Use the right tool
How to Avoid Appraisal Problems
Keep a diary
Be fair
Managers can do these five things to help ensure that they fairly conduct effective appraisals.
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39. Choosing the Right Appraisal Tool
Human Resources Management 12e Gary Dessler
Choosing the Right Appraisal Tool
Accessibility
Accuracy
Ease-of-use
Employee acceptance
Criteria for Choosing an Appraisal Tool
In practice, employers choose an appraisal tool based on several criteria. Accessibility and ease-of-use are probably first. Employers (and supervisors) prefer to avoid the push-back from employees who resist certain appraisal methods. For other employers, accuracy is a great concern.
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40. Appraisal Interview Appraisal Interview
An interview in which the supervisor and subordinate review the appraisal and make plans to remedy deficiencies and reinforce strengths
Maybe be uncomfortable due to negative feedback
Require adequate preparation and effective implementation

41. The Appraisal Interview
Human Resources Management 12e Gary Dessler
The Appraisal Interview
Satisfactory—Promotable
Satisfactory—Not Promotable
Unsatisfactory—Correctable
Unsatisfactory—Uncorrectable
Types of Appraisal Interviews
As a supervisor, you will face four types of appraisal interviews, each with its unique objectives.
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42. Appraisal Interview How to conduct the appraisal interview
Prepare for the interview
Prepare the employee
Choose time and place
Issues in conducting the appraisal interview
Talk in terms of objective work data.
Don’t get personal.
Encourage the person to talk..
Don’t tiptoe around.

43. Appraisal Interview Guidelines
Human Resources Management 12e Gary Dessler
Appraisal Interview Guidelines
Talk in terms of objective work data
كن واضحا ومباشرا ومحددا
Get agreement
تأكد من فهم وموافقة الموظف
Don’t get personal
لا تركز على شخص الفرد
Encourage the
person to talk
شجع الموظف على أن يتحدث
Guidelines for Conducting an Interview
كيفية إدارة المقابلة
These are four main things to keep mind when actually conducting the interview.
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44. Handling Defensive Responses
Human Resources Management 12e Gary Dessler
Handling Defensive Responses
How to Handle a Defensive Subordinate 1 2
Recognize that defensive behavior is normal. 3
Never attack a person’s defenses. 4
Postpone action.
Defenses are a familiar aspect of our lives. When a supervisor tells someone his or her performance is poor, the first reaction is often denial. Denial is a defense mechanism. By denying the fault, the person avoids having to question his or her own competence. Others react with anger and aggression. This helps them let off steam and postpones confronting the immediate problem.
Recognize your own limitations.
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45. How to Deliver Criticism
Human Resources Management 12e Gary Dessler
How to Deliver Criticism
How to Criticize a Subordinate 1 3 2
Do it in a manner that lets the person maintain his or her dignity and sense of worth. 4
Criticize in private, and do it constructively. 5
Give daily feedback so that the review has no surprises
When you must criticize, do so in a manner that lets the person maintain his or her dignity—in private, and constructively.
Never say the person is “always” wrong.
Criticism should be objective and free of biases.
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46. The Appraisal Interview (cont’d)
How to ensure the interview leads to improved performance
Don’t make the subordinate feel threatened during the interview.
Give the subordinate the opportunity to present his or her ideas and feelings and to influence the course of the interview.
Have a helpful and constructive supervisor conduct the interview.
Offer the subordinate the necessary support for development and change.

47. The Appraisal Interview (cont’d)
How to handle a formal written warning
Purposes of the written warning
To shake your employee out of bad habits.
Help you defend your rating, both to your own boss and (if needed) to the courts.
Written warnings should:
Identify standards by which employee is judged.
Make clear that employee was aware of the standard.
Specify deficiencies relative to the standard.
Indicates employee’s prior opportunity for correction.

48. Performance Management
Human Resources Management 12e Gary Dessler
Performance Management
What is Performance Management
Is the continuous process of identifying, measuring, and developing the performance of individuals and teams and aligning their performance with the organization’s goals.
How Performance Management Differs From Performance Appraisal .
A continuous process for continuous improvement
A strong linkage of individual and team goals to strategic goals
A constant reevaluation and modification of work processes
Performance management is the continuous process of identifying, measuring, and developing the performance of individuals and teams and aligning their performance with the organization’s goals.
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49. Six Basic Element of Performance Management
Human Resources Management 12e Gary Dessler
Six Basic Element of Performance Management
Direction sharing
Goal alignment
Ongoing performance monitoring
Ongoing feedback
Coaching and development support
Rewards, recognition, and compensation
Performance management’s basic building blocks or “DNA” are:
Direction sharing means communicating the company’s higher-level goals (including its vision, mission, and strategy) throughout the company and then translating these into doable departmental, team, and individual goals.
Goal alignment means having a process that enables any manager to see the link between an employee’s goals and those of his or her department and company.
Ongoing performance monitoring usually includes using computer-based systems that measure and then progress and exception reports based on the person’s progress toward meeting his or her performance goals.
Ongoing feedback includes both face-to-face and computer-based feedback regarding progress toward goals.
Coaching and developmental support should be an integral part of the feedback process.
Rewards, recognition, and compensation all play a role in providing the consequences needed to keep the employee’s goal-directed performance on track.
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50. Why Performance Management?
Human Resources Management 12e Gary Dessler
Why Performance Management?
Total Quality Management
Resolution of Appraisal Issues
Strategic Goal Alignment
The Performance Management Approach
Employers are moving to performance management for three main reasons—total quality, appraisal issues, and strategic planning.
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51. Using Information Technology to Support Performance Management
Human Resources Management 12e Gary Dessler
Using Information Technology to Support Performance Management
Assign financial and nonfinancial goals to each team’s activities along the strategy map chain of activities leading up to the company’s overall strategic goals.
Inform all employees of their goals.
Use IT-supported tools like scorecard software and digital dashboards to continuously monitor and assess each team’s and employee’s performance.
Take corrective action at once.
This slide sums up how IT-supported performance management process supports performance management.
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52. Key Terms performance appraisal management by objectives (MBO)
performance management
graphic rating scale
alternation ranking method
paired comparison method
forced distribution method
critical incident method
behaviorally anchored rating scale (BARS)
management by objectives (MBO)
electronic performance monitoring (EPM)
unclear standards
halo effect
central tendency
strictness/leniency
bias
appraisal interview